Guidelines for Urban Utility Managed Piped Drinking Water Supplies

July 2015 Addis Ababa, Ethiopia

CLIMATE RESILIENT WATER SAFETY PLAN IMPLEMENTATION

Federal Democratic Republic of EthiopiaMinistry of Water, Irrigation and Energy

CLIMATE RESILIENT WATER SAFETY PLAN IMPLEMENTATIONGuidelines for Urban Utility Managed Piped Drinking Water Supplies

July 2015 Addis Ababa, Ethiopia

i

Acknowledgement

The Federal Ministry of Water, Irrigation and Energy (FMoWIE) would like to extend its gratitude to World Health Organization (WHO), Ethiopia Country Office and Head-quarters (HQ) for their generous financial and technical support from the develop-ment of the concept note to execution of the utility managed urban water supplies implementation guidelines. A special thanks goes to Ms. Jennifer De France, WHO Geneva, Water, Sanitation and Health Technical Officer, for availing financial support from WHO HQ and for her continuous follow-up and guidance throughout the pro-cess.

Furthermore, MoWIE greatly acknowledges, Mr. Waltaji Terfa, WHO Ethiopia Coun-try Office, Ms. Angella Rinehold, WHO Geneva, Consultant and Ms. Elena Villalobos Prats, WHO Geneva, Technical Officer, for initiating the process, developing concept note and consultant terms of reference, and guiding the consultant in developing this utility managed urban water supplies implementation guidelines and providing series of comments and inputs from zero draft up to final version. Ms. Angella fur-ther contributed from her wealth of WSPs experience from different countries and shared a lot of useful materials which made this document user-friendly. The devel-opment of this document was shouldered by Mr. Yared Legesse, WHO consultant, thus, MoWIE is highly appreciative and thankful for his effort and preparation of the National Climate Resilient Water Safety Strategic Framework.

Finally, MoWIE extends its gratitude to the following professionals who have contrib-uted in commenting on the first draft::

Mrs. Semunesh Gola (Director of Hydrology and Water Quality)

Mr. Eyob Tesgaye (Core Process owner, Hydrology and Water Quality)

Mr. Arto Suominen (Manager of COWASH)

Mr. Ana Belay (Water and Sanitation Officer)

Mr. Balew Yibel (Hydrology and Water Quality Officer)

Mr. Osman Yiha (WHO Ethiopia, Public Health and Environment Consultant)

Ms. Bettina Rickert, National and International Advancement of Drinking-Wa-ter Hygiene, WHO Collaborating Centre for Research on Drinking-Water Hygiene, Berlin – Germany

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Foreword

The Federal Ministry of Water, Irrigation and Energy (FMoWIE) has been implementing the FDRE’s water sector policy and water sector development to ensure access to sufficient water of adequate quantity and acceptable quality to satisfy basic human needs of Ethiopian citizens. Safe drinking water in adequate quantities is a prerequisite for health improvement to ensure wellbeing of the population and to sustain socioeconomic development of the country. To realize this demanding social service, the Ethiopian government took a number of actions fol-lowing the water sector policy development such as National WASH inventory, development of ONE WASH Program, revision of the Universal Access Plan and revision of Drinking Water Quality Standard Specification for Microbiological and Physic-chemical quality, a number of capacity building activities, and institutional arrangement for rural and urban water supply and sanitation.

In urban setting supply of safe drinking water in adequate quantities and sanitation service to the consumers is the responsibility of the urban utilities management through governing board. Though urban water supply coverage is more than 90%, the implementation of National Drinking Water Quality Standard Specification was not given priority attention. Except end pipe testing, proactive systematic and comprehensive drinking water supply risk assessment and risk based management is lacking. Taking this fact into consideration, the Water Supply, Sanitation and Hygiene Sector in collaboration with development partners came up with Water Safety Plans as one of The 5th WASH Multi-stakeholders Forum which took place in 2012.

Thus, the purpose of this guidelines is to provide step-by-step guidance to the operators and managers of the large, medium and small urban water supplies with conventional water treat-ment systems on how to develop, implement, monitor, and review the water safety plans aimed at protecting human health. Furthermore, it serves as practical tool in identifying and addressing priority risks to the water quality and quantity, reliability and sustainability of the water supply system including risks related to current and future impacts of climate changes by taking into consideration available resources and capacities of the water supply system.

Therefore, it is believed that, this guidelines will serve in strengthening and improving the effi-ciency and effectiveness of urban utilities management service level quantity, quality, accessi-bility and reliability. Thus, while the Ministry of Water; Irrigation and Energy is fully committed in making sure this guidelines is used among the urban utilities in the country and urge the utilities management to make Water Safety Plans as part of the water supplies operation and management system for realization of service level including quantity, quality, accessibility and reliability as out lined in the revised Universal Access Plan (UAPII). Furthermore, the Ministry calls up on development partners and stakeholders collaboration and support in terms of availing resource for the utilities to make use of this guidelines for urban water supplies service improve-ment through risk assessment and risk-based management.

H. E Ato Kebede Gerba State Minister of Water, Irrigation and Energy

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List of Tables

Table 1: Advocacy and awareness creation activities during the preparation phase

Table 2: Expected duties of the WSP team members

Table 3: Hazards, hazardous events and entry points in the water supply system

Table 4: Likelihood, description and corresponding risk score

Table 5: Semi-quantitative risk rating approach (WSP Manual for SCWS 2012)

Table 6: Description of hazard analysis, validation of the existing control measures, risk assessment and determination of additional control measures

Table 7: Water supply system improvement plan of action (Sample)

Table 8: Frequency of operational monitoring of the water supply systems, critical limits and possible corrective action if critical limits are surpassed

List of Figures

Fig 1: Safe Water chain framework adapted from WHO GDWQ 4th edition, 2011)

Fig 2: Water Safety Plan Steps (WHO 2004)

Fig 3: Verification Monitoring, adopted from WHO WSPs training manual 2012

Fig 4: Institutional arrangement and support mechanism for WSP implementation of utility managed urban water supplies

Acronyms

COC Certification of Competence

CR-WSPs Climate Resilient Water Safety Plans

EDHS Ethiopia-Demographic and Health Survey

EPA Environmental Protection Agency

ESA Ethiopian Standard Authority

ETF Emergency Task Force

FMoEF Federal Ministry of Environment and Forest

FMoH Federal Ministry of Health

GIP Galvanized Iron Pipe

HDA Health Development Army

HEW Health Extension Workers

IWA International Water Association

NAPA National Adaptation Plan of Action

CESDWS National Compulsory Standard Drinking Water Specification

NGO Non Governmental Organization

NQSA National Quality Standard Authority

NTU Nephrometric Turbidity Unit

PHCU Primary Health Care Unit

PLWHA People Living With HIV/AIDS

FMHACA Food Medicine, Health Care Control Agency

SOP Standard Operation Manual

TVET Technical, Vocational and Education Training

TWG Technical Working Group

WASH Water Supply, Sanitation and Hygiene Promotion

WCO WASH Coordination Office

WHO World Health Organization

WWT Woreda WASH Team

DFID Department for International Development

AfDB African Development Bank

EU European Union

UAP Universal Access Plan

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Operational definitions

A hazard: is a biological, chemical or physical agent that has the potential to cause harm.

A hazardous event: is an event or situation that can introduce a hazard to the water supply system.

A sanitary survey: is an on-site inspection of water supply to identify actual and potential sources of hazards such as physical structure, operation of the system, and external environmental factors, are being evaluated and select appropriate remedial actions to improve or protect the water supply

Climate resilient water safety plans: is an approach which is based on assessment of climate risks to the water supply systems and management through identification of activities to better understand climate risks, plan to address climate impacts and implement adaptation measures to reduce the consequences of climate change to the water supply system from catchment to the point of consumption taking into account service level including quantity, quality, reliability, cost and accessibility.

Climate: Climate is average weather and occurs over long time frames (e.g. 30 years)

Control measures: are activities or processes to prevent or reduce a hazardous event/hazard. The WSP process involves consideration of both existing control measures and new/proposed control measure (or improvements).

Critical limit: is cutoff point that signifies when a control measure has failed or is working ineffectively and therefore emergency action is required

Operational monitoring: Routine monitoring of control measures along the water supply chain to confirm ongoing effectiveness. Carried out by the water supplier and involves defining critical limits for relevant parameters and corrective actions to take when critical limits are breached.

Risk: is the likelihood that a hazardous event/hazard will occur combined with the severity of the consequences.

Validation: refers to reviewing evidence to determine whether or not the existing and planned control measures can effectively control the hazardous event/hazard. This must be done prior to risk assessment so that the risk assessment considers how well controlled the hazardous event/hazard is currently.

Verification: Monitoring to confirm the effectiveness of the WSP as a whole and involving three elements: 1) compliance monitoring (generally by health authorities to confirm final water compliance with drinking water quality standards); 2) consumer satisfaction survey; and, 3) internal/external WSP auditing.

Water safety plan (WSP): A comprehensive risk assessment and risk management approach that encompasses all steps in the water supply, from catchment to consumer

Weather: is what is happening in the atmosphere at any given time is considered “weather” (including e.g. wind speed and direction, precipitation, barometric pressure, temperature, and relative humidity

1CHAPTER

INTRODUCTION

11

1.1 Background

The national water, sanitation and hygiene (WASH) strategies and programs witness the government of Ethiopia’s commitments to increase its population’s access to safe water and improved hygiene and sanitation; and, thereby to reduce burden of water-borne diseases. The 2013 national Compulsory Standard Drinking Water Specification also requires drinking water service providers to maintain the required microbiological and physicochemical quality (CESDWS 2013).

However, for the past decades, diseases attributable to consumption of unsafe water and poor sanitation and hygiene including diarrhea, intestinal parasitic infections, and protozoan infection remain among the ten top leading causes of morbidities in Ethiopia. Though access to improved sources of drinking water and sanitation increases every year, diarrhea remains the third leading causes of under-five child deaths in Ethiopia (WHO estimates 2004 – 2010) indicating presence of unmanaged risks. Demographic and health survey also confirms that, 80 percent of all incidences of diarrhea are due to unsafe water supply, poor sanitation and unsafe hygiene behaviors. Though child mortality rate shows significant reduction is observed over the last 15 years (EDHS 2000, 2006, 2011), there remains 17% of childhood deaths are associated with diarrhea (EDHS 2011).

Furthermore, in spite of efforts made to improve access to WASH services, the urban water supply services do not meet demands of the population and suffer from recurrent supply interruption due to various reasons including discrepancy between demand and supply (population pressure and rapid urban infrastructure development), system failure due to poor operation and maintenance and infrastructure damage by flooding (like Dire-Dawa Town, 2006) and as a result the users were obliged to revert to and rely on unsafe water sources such as unprotected wells, springs and water vendors. Most of the urban households usually collect water from public stand posts (public fountain) and store water at home to cope with water supply service interruptions where likelihood of re-contamination of water collected from tap/stand post is certain due to poor household storage practices. In urban settings, the public stand posts lack proper care and timely maintenance resulting in water wastage and contamination.

In addition, poor management of solid and liquid wastes together with rampant open defecation practices are a pressing problem in urban settings in Ethiopia exacerbating risks to water safety and public health hazards.

Within the past 10 years, various communities in different parts of the country have been affected by effects of climate variability such as flush and river flooding due to increased rain fall that posed damage to water supply infrastructures and caused gross contamination of drinking water sources which resulted in diarrheal disease outbreaks. There are also communities suffering from the effects of prolonged droughts due to evapo-transpiration, which result in lowering of ground water table, water shortage and drying of shallow water sources (shallow wells) and consequently people are forced to depend on unsafe water provided by water trucking (NAPA 2007).

To respond to the impacts of the climate change on water quantity and quality, as well as its impact on public health, the Federal Ministry of Water, Irrigation and Energy (FMoWIE) established WASH Emergency Taskforce (WASH ETF) that comprises sector ministries and partner organizations. Through this taskforce, the government monitors occurrence and distribution of water supply emergency situations, jointly discuss and develop preparedness and response plan, and take prompt actions when an emergency situation happens. Among other measures to improve quantity and quality; water rationing at household level through trucking and, distribution of point-of-use water treatment chemicals are to be mentioned

Safe drinking water in adequate quantities is a prerequisite for health improvement to ensure wellbeing of the population and to sustain socioeconomic development of the country. Therefore, to address the abovementioned public health hazards and associated challenges of the existing water supply services, it obviously claims for sustainable improvement of water supply. This can be achieved through implementation of the climate resilient water safety plan.

Supply of safe drinking water in adequate quantities to the consumers is the major responsibility of the urban

CLIMATE RESILIENT-WATER SAFETY PLAN IMPLEMENTATION GUIDELINES FOR URBAN UTILITY MANAGED PIPED DRINKING WATER SUPPLIES

12

utilities and its efficiency and effectiveness can be achieved through application of the water safety plans (WSPs). A WSP is a comprehensive risk assessment and risk management approach to identify and address priority issues that affect service delivery, which was introduced in the World health Organization’s (WHO) Guidelines for Drinking Water Quality, 3rd edition (2004) and continued in the fourth edition (2011) being an effective strategy to ensure water safety from catchment to the point-of-consumption. Climate Resilient WSPs (CR-WSPs) ensure that priority risks to water quality and quantity associated with climate variability and change are identified and addressed through the WSP process. WSPs will identify appropriate adaptation options to address current and anticipated adverse effects on drinking water supply systems so as for them to become resilient to climate change.

The conventional practices of water quality management through end pipe testing are limited to occasional testing of samples of drinking water mainly from consumer taps or in response to incidence of outbreaks. Such practices are reactive and test results are available after too many people are affected and late for preventive action. In addition, it doesn`t include the whole water supply system namely continuity, quantity, users’ concerns and sustainability. Therefore, it is high time for urban utilities to adapt the Water Safety Plans (WSPs) which are aimed at improving the water supply system through risk assessment and risk based management approach.

1.2 Scope of the WSP implementation guidelines for urban utilities

Water supplies face a wide range of risks caused by microbial pollution with pathogens typically of major relevance. Furthermore, pollution of raw water sources with agricultural chemicals and siltation of the reservoirs by runoff during rainy season, and enhancement of algal blooming due to increased temperature and eutrophication as well as capacity gaps with the utility to consistently supply safe water in adequate quantity to the population are identified to be the current and future climate change-related challenges to the utilities managed urban water supplies. However, existing WASH policies, regulations and strategies related to water quality and establishment of institutional arrangements are indications of the governments’ awareness and commitment about the importance of ensuring the safety of the drinking water and mitigation of impacts of climate change on the sustainability of the water supply sources.

In addition, the IPCC report (2007) in central and east African countries indicates there will be an increased rate of rainfall approximately by 7%, and; consequently, there is a risk of flooding in these countries, including Ethiopia. Furthermore, evidences from different studies (WHO/DFID Vision 2030, NAPA 2007) remind WASH sector actors and the utilities to take proactive measures and to have readiness to respond to increased risk of extreme weather events (flood and drought) on the drinking water supplies. The anticipated effects of climate change on drinking-water supply in Ethiopia include the following:• Changes in rainfall patterns (increase in some regions, decrease in others)• Temperature increase leading to increase of algal blooms and eutrophication to surface water reservoirs

and dams • Increase in likelihood of occurrence of extreme weather events such as flood and drought • Increase in likelihood of events such as fecal matter being washed into raw water sources in case of heavy

rain and flood events, due to increased temperatures• Extreme weather events may lead to increased contamination and decrease in available quantity of raw

waterTherefore, increasing the resilience of the utility managed urban water supplies is important to proactively identify and manage risks posed by climate change through implementation of climate resilient WSPs (CR-WSPs). Implementation of the climate resilient water safety plans requires integration and coordination between government, partner organization and the community to effectively manage various risks to water supply system from catchment to point of consumption. Thus, the scope of this WSP implementation guidelines for urban utilities builds on the following two major elements: 1. Adapt the generic water safety plans for urban utilities to Ethiopian contexts;

13

2. Incorporate the risks posed by climate change on the water supply systems from catchment to point of consumption during development and implementation of the WSPs, leading to the approach of CR-WSPs

1.3 Objective of the WSP implementation guidelines

To provide step-by-step guidance to the operators and managers of the large, medium and small urban water supplies with conventional water treatment systems on how to develop, implement, monitor, and review the water safety plans aimed at protecting human health by identifying and addressing priority risks to the water quality and quantity, including risks related to current and future impacts of climate change. These guidelines are designed to serve as a practical tool to support WSP development and implementation while further considering and integrating the risks posed by climate variability and change and available resources and capacities.

2CHAPTER

BASIC CONCEPTS AND STEPS OF WATER SAFETY PLAN

15

2.1 Basic Concepts of the WSP for urban utilities

Water Safety Plan (WSP) is a comprehensive risk assessment and risk management approach that encompasses all steps in the water supply system from catchment to point of consumption. The approach enables the operators and managers of the urban utilities and rural WASH boards to know the system thoroughly, identify where and how problems could arise, put multiple barriers and management systems in place to stop the problems before they happen and making all parts of the system work properly so as ensure safety of water intended for human consumption and other domestic uses as summarized in the following WHO safe water chain frameworks.

Health Based WaterQuality Targets

System Assessment Monitoring

SurvillanceFe

edba

ck

Management and Communication

Water Safety Plans

Publichealth Context andHealth Outcome

Fig 1: Safe water chain framework adapted from WHO GDWQ 4th edition, 2011

The safe water chain framework has five components important to ensure safety of the drinking water. Three out of the five key components will be planned and implemented by the supply agency (the utilities) and the remaining two components are responsibilities of the surveillance/regulatory agency (the health sector).• Establishment of health based targets for microbial and chemical quality of water and assuring the safety

of water through independent public health surveillance of water safety. Targets are set nationally based on evaluation of health concerns by the FMoH and proper operation of the system is confirmed by the surveillance /regulatory agencies namely: Federal Ministry of Health, Food, Medicine, Health care Admin-istration and Control Agency (FMHACA) and National Quality Standard Authority (NQSA).

• A water supply system assessment to determine whether the safety of the drinking water is maintained from catchment to point of consumption; documentation of the system assessments; monitoring and further preparation of the management plans to address actions to be taken during regular operation and when incident conditions might occur so as to sustainably ensure supply and safety of drinking water in adequate quantity as per the national standards (20 L/person /day within 500 meter walking distance. These components of the framework are led by the supply agencies (operators and managers of the urban and rural piped water supplies).

CLIMATE RESILIENT-WATER SAFETY PLAN IMPLEMENTATION GUIDELINES FOR URBAN UTILITY MANAGED PIPED DRINKING WATER SUPPLIES

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2.2 Benefits of Water Safety Plan

As mentioned in the introduction section above, lack of safe drinking water is one of the factors contributing to diarrheal disease burden among under-five children in Ethiopia. Provision of safe drinking water has significant impact on reduction of under-five diarrheal disease prevalence. Water safety plan approach is a strong tool to ensure safety of water from source to point of consumption and to provide adequate quantity of safe drinking water to the population. In addition to protecting public health, added value of the water safety plan are stated as follows:• Protect public health through improved water quality and thereby improved productivity• Create clear understanding about water supply systems, asset management, and to predict future invest-

ment needs • Improve organizational efficiency and performance of utilities • Bring together wider range of expertise from different sectors and improve relationship and partnership

between stakeholders• Improve planning, risk identification and management as well as operation and maintenance capacity of

the water supply operators • Improve compliance with national drinking water quality standards

2.3 Major Stages and Steps to be followed to develop WSPs for utilities

Development of a WSP aims at preventing contamination and maintaining yield of the water sources, treating of water to eliminate or remove contaminants, and preventing recontamination of water in the reservoirs and distribution systems, during collection/fetching, transportation to and storage/use in the households so as to meet health based targets set by the health authority. To achieve intended results, the WSP development process passes through FIVE interdependent major stages. Under each stage there are different activities (steps) to be undertaken sequentially by involvement of suppliers, regulators and other internal and external stakeholders. The major five steps include (I) Preparation for WSP development, (II) System Assessment, (III) Monitoring, (IV) Management and communication, and (V) Feedback and improvement (Figure 2).

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Stage v: Feedback and Improvement

Step 10: Review and Revise The WSP Regularly and Folling an incident

Step 9: Development of WSP Supprting Programs

Step8: Development Of Mangement Procedures

Stage ii: System Assessment

Step 5: Devlop and Implement Improvement

Step 3: Hazard Assesment Valldation of the Existing Control Maasures and Risk Assesment

Stage Iv Management and Communication

Stage 1: Preparatin Step1: Advocacy Communication and Assembling WSP Team

Step 7: Veri�cation Monitoring

Step 2: System Description

Step 4: Determine E�ectiveness of the Existing Control Measurres

Step6:Operational Monitoring

Stage iii:Monitoring

Fig 2: Water Safety Plan Steps (WHO 2004)

3CHAPTER

STEP BY STEP DEVELOPMENT OF THE WATER SAFETY PLANS

19

Stage I: Preparation

Preparation phase of the WSP development include advocacy work to gain commitment of stakeholders and establishment of the WSP technical working group at national, regional, and woreda levels and WSP team at utility and Kebele levels.

Step 1: Advocacy, communication and assembling WSP team

1. Advocacy and awareness creation: contribution and support at the national, regional and district levels

Experiences of WSP implementation in different African countries have shown that (IWA 2011), government authorities play pivotal roles in making decision and advocating for WSP demonstration and at scale WSP implementation. Thus, endorsement of the national strategic frameworks, WSP implementation guidelines, and future revision of existing standards and regulations, structures and roles and responsibilities of operators, financial investment decisions, allocation of staff time for WSP development and implementation, leading community participation at all stages of WSP implementation (from catchment to point of consumption) and regular performance evaluation require the federal, regional and local governments’ commitment and policy decisions.

Therefore, as part of the preparation phase, a consultative workshop/meeting with decision makers and operators (stakeholders involved in utility and community managed water supplies) and sensitization/training of sector professionals need to be organized to explore their level of understanding and perceptions about WSP approach, create awareness on the benefits of WSP approach over the existing water quality monitoring/testing practices, importance of WSP demonstration as well as on the impacts of climate change (past, current and future) on the water supply systems, to break possible stakeholders’/managers’ resistance, and to gain political commitment and support before moving to start WSP implementation. In addition, to increase leadership engagement and support, leadership experience sharing visit between countries with best practices can be arranged (Table 1).

CLIMATE RESILIENT-WATER SAFETY PLAN IMPLEMENTATION GUIDELINES FOR URBAN UTILITY MANAGED PIPED DRINKING WATER SUPPLIES

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Tabl

e 1:

Adv

ocac

y an

d aw

aren

ess

crea

tion

activ

ities

dur

ing

the

prep

arat

ion

phas

e

S. N

oA

ctiv

itie

sTa

rget

aud

ienc

eE

xpec

ted

out

put

sR

esp

ons

ible

bo

dy

1Aw

aren

ess c

reat

ion

amon

g de

cisio

n m

aker

s and

sect

or a

nd u

tility

seni

or

prof

essio

nals

on th

e W

SP c

once

pts,

appr

oach

es a

nd it

s ben

efits

, im

por-

tanc

e of

WSP

dem

onst

ratio

n as

wel

l as

on

the

impa

cts o

f clim

ate

chan

ge

(pas

t, cu

rrent

and

futu

re) o

n w

ater

su

pply

syst

ems

to g

ain

man

age-

men

t and

ope

ratio

nal c

omm

itmen

t.

• Fe

dera

l le

vel

= M

inist

er/s

tate

min

is-te

rs/d

irect

ors

of w

ater

, he

alth

, re

gu-

lato

ry/F

MH

ACA-

NW

QSS

A, w

ater

shed

au

thor

ity /

agric

ultu

re /

MoF

EP/,

Util

ity

Man

ager

s; RW

CO, m

ajor

WAS

H s

ecto

r do

nor a

nd N

GO

s

• Re

gion

al/z

onal

lev

el =

(th

e re

gion

al

pres

iden

t, (B

urea

u of

Wat

er,

Hea

lth

and

Wat

ersh

ed

Auth

oriti

es),

utili

ty

man

ager

s an

d bo

ard

chai

r pe

rson

; RW

CO a

nd s

teer

ing

com

mitt

ee m

em-

ber o

ffice

s , m

ajor

WAS

H se

ctor

don

or

and

NG

Os

• W

ored

a le

vel

= W

WT,

WW

CO a

nd

stee

ring

com

mitt

ee m

embe

r offi

ces,

tow

n ut

ility

man

ager

and

boa

rd c

hair

pers

on,

may

or a

nd t

own

adm

inist

ra-

tor,

urba

n an

d ru

ral l

and

deve

lopm

ent

and

man

agem

ent h

eads

, NG

Os

• Cr

eatio

n/es

tabl

ishm

ent

of c

lear

und

erst

andi

ng o

n th

e co

ncep

ts a

nd

bene

fits

of W

SP a

nd it

s lin

kage

with

the

wat

er r

esou

rce

and

heal

th

polic

ies

amon

g de

cisio

n m

aker

s an

d se

nior

pro

fess

iona

ls, a

nd h

ow

clim

ate

chan

ge c

onsid

erat

ions

can

be

incl

uded

into

the

ass

essm

ent

so a

s to

redu

ce ri

sks

• G

aini

ng le

ader

s ac

cept

ance

of t

he a

ppro

ach

and

appr

oval

of i

mpl

e-m

enta

tion

of W

SP (b

oth

dem

onst

ratio

n an

d sc

ale

up)

• Po

licy

supp

ort f

rom

fede

ral a

nd re

gion

al s

tate

dow

n to

the

loca

l gov

-er

nmen

ts (

actio

ns r

equi

red

to s

uppo

rt W

SP im

plem

enta

tion

at n

a-tio

nal a

nd re

gion

al le

vels

iden

tified

) with

tim

e fra

me

to m

onito

r wat

er

safe

ty p

lann

ing

proc

esse

s

• Co

nsen

sus r

each

ed o

n th

e im

port

ance

of i

nstit

utio

nal a

rrang

emen

t at

all l

evel

s an

d m

ulti-

agen

cy c

oope

ratio

n to

sup

port

WSP

impl

emen

ta-

tion.

nat

iona

l, re

gion

al/z

onal

and

wor

eda

WSP

impl

emen

tatio

n st

eer-

ing

com

mitt

ees

and

tech

nica

l wor

king

gro

up e

stab

lishe

d an

d te

chni

-ca

l sup

port

put

in p

lace

• Se

nsiti

zatio

n of

the

ope

ratio

nal

staff

on

the

WSP

app

roac

h an

d its

be

nefit

s is

goin

g on

in t

he W

ASH

sec

tor

acto

rs a

nd u

tiliti

es t

hrou

gh

lead

ers a

nd se

nior

staff

FMoW

IE, F

MoH

, WCO

,

WH

O

2W

SPs t

rain

ing

for W

ater

and

hea

lth

sect

or st

aff re

spon

sible

for p

rom

o-tio

n an

d re

gula

tion

of th

e sa

fety

/qu

ality

, qua

ntity

/risk

of c

limat

e

chan

ge to

drin

king

wat

er su

pply

• O

pera

tion

and

mai

nten

ance

st

aff,

trea

tmen

t st

aff, h

ealth

reg

ulat

or a

nd

prom

oter

and

she

d au

thor

ity,

WCO

an

d N

GO

s

• Cl

imat

olog

ist/H

ydro

logi

sts

• Cl

ear

unde

rsta

ndin

g on

the

con

cept

s, be

nefit

s an

d ap

plic

abili

ty o

f W

SP e

stab

lishe

d

• Ri

sks

pose

d by

clim

ate

varia

bilit

y an

d ch

ange

to

the

wat

er s

yste

m

clea

rly u

nder

stoo

d

• D

iffer

ence

s bet

wee

n ex

istin

g pr

actic

es a

nd W

SP, a

nd e

nviro

nmen

ts in

w

hich

util

ities

are

ope

ratin

g (i

nter

nal a

nd e

xter

nal s

take

hold

ers

inte

r-ac

tions

/influ

ence

s on

the

utili

ty) a

re c

lear

ly u

nder

stoo

d

• W

ored

a le

vel W

SP im

plem

enta

tion

supp

ort t

eam

form

ed

• Th

e U

tility

WSP

impl

emen

tatio

n te

am fo

rmed

• Ro

les

and

resp

onsib

ility

of i

nter

nal a

nd e

xter

nal s

take

hold

ers’

iden

ti-fie

d an

d ag

reed

FMoW

IE,

FMO

H, W

CO,

WH

O

3Ex

posu

re v

isits

to o

ther

cou

ntrie

s w

ith b

est p

ract

ices

Fe

dera

l min

ister

s/st

ate

min

ister

s/ge

nera

l di

rect

ors a

nd re

gion

al b

urea

u he

ads/

core

pro

cess

ow

ners

of w

ater

, hea

lth, b

ig

utili

ties,

fore

st a

nd E

PA se

ctor

s and

WCO

• Cl

ear u

nder

stan

ding

on

how

the

stra

tegy

and

the

CR-W

SP im

plem

en-

tatio

n is

led

by d

ecisi

on m

aker

s an

d th

eir l

evel

of e

ngag

emen

t in

the

proc

ess

of W

SP d

evel

opm

ent

and

impl

emen

tatio

n, p

ract

ical

exp

eri-

ence

s gai

ned

/exp

osur

e on

serv

ice

impr

ovem

ent,

etc

• Le

ader

ship

com

mitm

ent

incr

ease

d an

d W

SP d

evel

opm

ent

and

WSP

im

plem

enta

tion

faci

litat

ed in

the

regi

ons

FMoW

IE,

FMO

H,

WH

O a

nd o

ther

inte

rest

ed

part

ners

21

As part of the planning phase, it is important to enlist internal and external stakeholders likely to be involved and identify their level of involvement in the development, implementation and scaling up of WSPs at national, regional, district and utility levels. This process helps for prior identification of the specific roles to be played by the top management and the staff of water, health, regulatory, catchment authorities, and the utilities at all levels in general, and at WSP implementation levels in particular (Annex-4.1).

2. Form WSP technical Working group (TWG) and WSP teams

The National, regional and woreda level WSP technical working groups will be formed from WASH sector organizations mainly composed of water, health, utility, catchment authority, and core WASH partner donor/UN agencies, NGOs and universities/Technical and Vocational Education Training (TVET) working at each level. This technical working group (TWG) provide technical advisory role to the National and regional steering committees (that comprises relevant directors in the federal ministry of water, health, environment, agriculture and meteorology agency, and representatives of Mega WASH sector partner organizations such as World Bank, WHO, UNICEF, AfDB, DFID and EU), and technical guidance to the WSP teams at training, development, and implementation monitoring and evaluation stages. Involvement of Universities/TVETs creates understanding of the WSP processes and insights to revise and include WSP into pre-service training courses.

As WSP development and implementation is led by the utilities, formation of the WSP team considers composition of utility managers, professionals from different expertise background on the water supply system design, water quality management, quality surveillance, operation and maintenance, watershed management, environmental health, program management, and with knowledge of the socioeconomic dynamics in the population. Therefore, the WSP team includes technicians, water supply engineer/surveyor, water/geo chemist, and socio-economist from the utility and public health laboratory technologist and environmental health from the surveillance agency, environmental protection professionals from the catchment authority. Drinking water sources vulnerability assessment is conducted at climatic zone level and all urban utilities within the same climatic zone use assessment finding to develop and implement water safety plans. In towns where meteorological stations exist, meteorologists are considered to be a member of WSP team. Whereas, WSP teams of other utilities located within the same climatic zone use local climate and weather information from their respective meteorological station.

Level of responsibility and involvement of the WSP team members could vary depending on the WSP development and implementation steps. Number and mix of team members during WSP step two (system assessment and hazard analysis) might require involvement of majority of the team members to establish baseline (benchmark), some of the team members during operational monitoring and management and communication, etc., and, therefore, the number of professionals to be involved will be determined on the size and complexity of the water supply systems, availability of the skilled professionals, and utility managers’ decision and urgency to implement the water safety plan.

CLIMATE RESILIENT-WATER SAFETY PLAN IMPLEMENTATION GUIDELINES FOR URBAN UTILITY MANAGED PIPED DRINKING WATER SUPPLIES

22

Tabl

e 2:

Exp

ecte

d du

ties

and

prof

essi

onal

cat

egor

ies

for

WS

P te

am c

ompo

sitio

n

S. N

oPr

ofes

sion

al c

ateg

ory

Expe

cted

dut

ies

of th

e te

am m

embe

rs

Rem

arks

1U

tility

tech

nica

l man

ager

M

ake

deci

sion

and

prov

ision

of r

esou

rces

(hum

an, fi

nanc

ial,

and

logi

stic

s)Te

am le

ader

2W

ater

eng

inee

r/su

rvey

or, t

echn

icia

n (o

pera

tion

and

mai

nten

ance

)D

escr

iptio

n an

d ch

arac

teriz

atio

n of

the

wat

er su

pply

syst

em la

yout

map

ping

and

tech

nica

l ass

essm

ent t

o w

ater

supp

ly

syst

em a

sset

s fro

m in

take

to d

istrib

utio

n po

int s

uch

as b

reak

age,

type

and

size

of m

ater

ials,

age

, lea

kage

and

was

tage

rate

, ca

tchm

ent d

elin

eatio

n/de

term

inat

ion,

spec

ifica

tion

of m

ater

ials

for o

pera

tion

and

mai

nten

ance

, ide

ntify

haz

ards

and

risk

le

vels,

prio

rity

cont

rol m

easu

res a

nd c

orre

ctiv

e ac

tions

with

tim

efra

me

and

resp

onsib

le b

ody

to im

plem

ent t

he c

orre

ctiv

e ac

tion

Util

ity st

aff/t

eam

m

embe

r

3So

cio-

econ

omist

Des

crip

tion

of c

atch

men

t pop

ulat

ion/

user

s dyn

amic

s inc

ludi

ng d

ensit

y, nu

mbe

r, gr

owth

, com

mun

ity c

once

rns r

elat

ed to

se

rvic

es o

f the

util

ity, l

evel

of p

artic

ipat

ion,

serv

ice

incl

usiv

enes

s (ne

ed o

f peo

ple

with

disa

bilit

y an

d PL

WH

A, a

nd th

e po

or),

syst

em in

pla

ce fo

r com

mun

icat

ion

and

cust

omer

aw

aren

ess t

o no

tify

wat

er sa

fety

/qua

lity

chan

ges,

on u

tility

resp

onsiv

enes

s an

d ac

coun

tabi

lity)

, bill

ing

syst

em, l

evel

of e

xpan

sion

of in

form

al se

ttle

men

t, w

ater

dem

and,

cos

t-be

nefit

and

vul

nera

bilit

y an

alys

is to

info

rm fu

ture

wat

er d

eman

d, a

nd u

tility

’s fin

anci

al su

stai

nabi

lity,

and

user

s sat

isfac

tion

surv

eys,

etc.

Take

par

t in

risk

asse

ssm

ent p

roce

ss to

inco

rpor

ate

cust

omer

s’ (u

sers

) per

spec

tives

and

wor

k on

the

cons

olid

atio

n of

the

who

le W

SP.

Util

ity st

aff

4W

ater

/geo

che

mist

Det

erm

ine

base

line

leve

l of t

he p

hysic

oche

mic

al a

nd m

icro

biol

ogic

al q

ualit

y st

atus

of t

he w

ater

supp

ly sy

stem

from

sour

ce to

po

int o

f con

sum

ptio

n, m

onito

r crit

ical

qua

lity

para

met

er d

urin

g im

plem

enta

tion.

Util

ity st

aff

5En

viro

nmen

tal /

pub

lic h

ealth

Char

acte

rizin

g th

e he

alth

stat

us o

f the

cat

chm

ent p

opul

atio

n in

clud

ing

prev

alen

ce o

f dia

rrhe

a am

ong

unde

r-five

chi

ldre

n,

prob

lem

of s

anita

tion

and

hygi

ene

serv

ices

, ide

ntifi

catio

n of

poi

nt a

nd d

iffus

ed so

urce

s of c

onta

min

atio

n (e

nviro

nmen

tal a

nd

beha

vior

al c

onta

min

atio

n ris

k as

sess

men

t fro

m c

atm

int t

o po

int o

f use

incl

udin

g H

H w

ater

trea

tmen

t and

stor

age

prac

tices

, us

e of

alte

rnat

e so

urce

s, pe

rcep

tion

abou

t saf

ety/

qual

ity o

f wat

er c

olle

cted

from

diff

eren

t sou

rces

, etc

. ide

ntify

haz

ards

, risk

le

vels,

prio

rity

cont

rol m

easu

res,

corre

ctiv

e ac

tions

with

tim

e fra

me

and

resp

onsib

le b

ody

to im

plem

ent t

he c

orre

ctiv

e ac

tion.

Hea

lth st

aff

6Pu

blic

hea

lth la

bora

tory

tech

nolo

gist

Bein

g pa

rt o

f the

regu

lato

ry/s

urve

illan

ce a

genc

y jo

intly

wor

k w

ith w

ater

che

mist

and

mic

robi

olog

ist o

f the

util

ity o

n th

e es

tabl

ishm

ent o

f the

wat

er q

ualit

y ba

selin

e us

ing

the

sam

e m

etho

d an

d te

chni

que,

and

per

iodi

cally

con

duct

qua

lity

asse

ssm

ent a

nd v

erify

or a

ssur

e w

heth

er o

r not

the

supp

ly sy

stem

mee

t hea

lth b

ased

targ

et in

dica

tors

.

Hea

lth st

aff

7En

viro

nmen

tal p

rote

ctio

n Ch

arac

teriz

e so

urce

s and

type

s of p

ollu

tion

in th

e ca

tchm

ent o

f the

wat

er so

urce

due

to v

ario

us so

cio-

econ

omic

act

iviti

es

(agr

icul

ture

, ind

ustr

y, et

c) a

nd a

naly

ze p

oten

tial h

azar

ds a

nd ri

sk le

vels,

iden

tify

prio

rity

cont

rol m

easu

res,

corre

ctiv

e ac

tions

w

ith ti

me

fram

e an

d re

spon

sible

bod

y to

impl

emen

t the

cor

rect

ive

actio

n.

Fore

st o

r en

viro

nmen

t or

agric

ultu

re st

aff

8M

eteo

rolo

gist

/Hyd

rolo

gist

(at

natio

nal/r

egio

nal l

evel

s, w

here

M

ET st

atio

ns e

xist

, and

also

pro

vide

w

eath

er a

nd c

limat

e in

form

atio

n fo

r WSP

team

s in

the

sam

e cl

imat

ic

zone

),

Cond

uctio

n of

a v

ulne

rabi

lity

and

adap

tatio

n as

sess

men

t (V&

A) a

s par

t of t

he sy

stem

ass

essm

ent.

The

V&A

asse

ssm

ent

prov

ides

info

rmat

ion

on c

urre

nt a

nd fu

ture

vul

nera

bilit

y to

the

heal

th ri

sks o

f clim

ate

chan

ge (w

ith a

spec

ial f

ocus

on

wat

er-

born

e di

seas

es) a

nd o

f pol

icie

s and

pro

gram

s tha

t cou

ld in

crea

se re

silie

nce,

taki

ng in

to a

ccou

nt th

e m

ultip

le d

eter

min

ants

of

clim

ate-

sens

itive

hea

lth o

utco

mes

.

Hyd

rolo

gy m

odel

ing

and

clim

ate

mod

elin

g.

Hyd

rolo

gy m

appi

ng.

Regi

onal

fore

cast

s of e

xtre

me

wea

ther

eve

nts (

e.g.

dro

ught

s and

floo

ds).

NM

A an

d w

ater

re

sour

ce st

aff

23

Stage II: System Assessment

Step 2: System description

The main objective of the system description is to have a clear understanding and insight on the physical and operational component of the water supply, i.e., how the water supply system is designed and functioning from catchment to point of use. It is important to verbally describe the system comprehensively, and draw the layout map of water supply system that show location and type of the source (s), intake, treatment plant, reservoirs, distribution systems with primary, secondary and tertiary pipe networks, pump stations, valve boxes, public stand posts or household connections, etc. Similarly, the assessment should cover each component of the supply systems. In order to collect information required for this, as well as for the following steps, it is very valuable to go into the field and visually inspect the characteristics of the water supply as well as their condition.

Water source: The source of water supply systems could be surface water, dam (reservoir), deep borehole, gravity springs or composition of the two or three sources.

• Describe location and type of the water source (river, dam, and/or gravity fed spring) and catchment areas /watershed and if the source is ground water, number and location of abstraction points, depth of the well or abstraction point, flow rate, depth of casing with schematic diagrams /layout map;

• Describe the impacts of the extreme weather events on the source water quality and quantity such as reduced flow rate due to decreased precipitation and evaporation during hot dry seasons, and siltation/sedimentation due to runoff during rainy season. The WSPs team uses information from the climatic zone assessment report;

• State the nature of the land and its use, including anticipated development in the future, such as economic activities in the catchment including agriculture, animal husbandry/raring, mining, informal settlement, waste disposal, etc.

• Identify different types of existing water uses and planned activities such as irrigation schemes, hydro-electric development, etc., in the water source catchment areas that might introduce microbiological and chemical hazards such as use of agricultural chemicals, reduction in water source recharge (quantity). On the other hand, an ongoing soil and water conservation activities in the water shed/catchment areas con-tributes to increasing water source recharge and consequently increase water quantity. Thus, WSPs team will cross check and advocate with natural resource management and agriculture sector for necessary action;

• Describe changes of the water source discharge rate (yield) during design phase versus current rate and reliability/adequacy of the source taking population growth rate (water demand) into consideration.

• Figure out water source quality and characterization of types and loads of pollution/contaminants due to different types of the socio-economic development activities in the catchment areas;

• Describe the kinds of source contaminants (e.g. wastes from different sources in the catchment areas) including organic, inorganic, and/or chemical wastes;

• Identify the existing physical, microbiological and chemical qualities of the water and how quality is sea-sonally affected due to extreme weather events;

• Find out the prevailing affirmative action such as soil and water conservation interventions;

• State the condition of the wellhead works, possible intrusion of surface water such lake, river or runoff, and any physical condition that affect water quality.

Treatment processes: the treatment system depends on the type and extent of source contamination. The conventional water treatment system commonly used for surface water includes sedimentation, coagulation/flocculation, filtration, and disinfection before distribution. Therefore,

CLIMATE RESILIENT-WATER SAFETY PLAN IMPLEMENTATION GUIDELINES FOR URBAN UTILITY MANAGED PIPED DRINKING WATER SUPPLIES

24

• Description of type and number of treatment units (including availability of backup units) with schematic diagram (layout map);

• Details of the treatment plant including how it is operates and contamination removal capacity of each treatment unit, age and current operational status of the treatment plant compared to its initial design;

• Details of each treatment processes and type of contaminants the treatment works are designed to re-move;

• Description of how treatments processes are controlled, and details of standards on how to decide the treatment processes are properly functioning;

• Description of the kind of disinfectant used, disinfection contact time and concentration of the disinfection residuals;

• Details of the kinds of other treatment chemicals used;

• Sketch of the kinds of operational controls to verify efficiency of overall treatment works;

• Description of the hazards identified during assessment of catchment (source) that cannot be removed by existing treatment processes;

• Details of the effects of the extreme weather events on the water treatment processes such as algal bloom-ing due to high temperature, and burden on the water treatment works as a result of siltation and sed-imentation due to runoff entrance and future susceptibility of the treatment plant to extreme weather events;

• Description of the frequency of treatment process interruption and reasons such as power failure, raw wa-ter characteristic, shortage of treatment chemicals, and problems related treatment work, etc.;

• Details of maintenance of equipment and spare parts management;

• Explanation of the status of the technical knowledge and skills of the operation and maintenance workers (operators); and,

• Details of availability of the standard operating procedures (working manuals) and equipments, etc

Storage/service reservoirs: there are conditions where treatment plant is installed far away from the raw water intake (source of water) and water transported to the treatment plant either by gravity or pumping, and treated water is pumped to main service reservoirs or supply reservoirs located at high altitude and then wa-ter is conveyed to the distribution system to the users by gravity systems. Depending on the settlement and number of users, water demand, number of reservoirs with variable capacity are constructed.

Therefore, • Describe number, capacity (volume), location (site), service age, condition, design and structure of the

reservoirs, materials used, and their position of inlet and outlet valves, overflows, manhole cover, shape of top cover slab, vent pipe, etc.;

• State presence of protection from human and animal access such as cattle, birds, rodents, etc.; • Describe type and size, age, and condition of pipe materials used to convey water from treatment plant

to storage/service reservoirs (such as GIP, uPVC, DCI, etc);• Present range of pressure and retention time;• Discuss frequency of bursts of raising mains, and growth of microorganisms such as iron bacteria, corro-

sion, etc. Details of cleaning and maintenance of storage reservoir(s);• Check for possible entrance of contaminated water through the basement /wall / top of the reservoirs,

including vents, or during no pressure in a network (check for any structural defects);• Check for possible entrance of contaminants during repair of the reservoir and distribution networks

(during pipe maintenance, reservoir cleaning, etc.);• Check for silt deposits at bottom and wall of the reservoirs as well as Algal and/or iron bacteria growth in

25

the reservoirs and in the distribution systems; • Check for collection of water over the cover slab, cracks, air vent pipe open due to wire mesh damage, no

fencing, birds droppings and nests, uncovered inspection man-holes, uncovered outlet pipe/valve boxes, etc conditions that increase chance of contamination treated water in the reservoir;

• Check for illegal connections, etc.; • From the viewpoints of reducing effects of the climate change, assessing the energy sources of the water

pumps is crucial to discourage green house gas emission through use of alternate low energy source like solar system.

Distribution systems: Compared to description of the sources, treatment process and the storage reservoir, understanding and description of the distribution system network is more complex. Description and analysis of the distribution system is more difficult where the water supply system history is poorly documented and data is not available. In such conditions, involvement of the operation and maintenance workers is important to get information on undocumented system layout and networks. Furthermore, categorizing areas of the town/population that get supply from a particular supply reservoir and distribution pipe grid system is important. Such mapping helps analysis of associated hazards and risks to the population living in that specific area.

In particular, distribution system description and analysis requires:• Description of the system flow, type, age, length, size of the materials used (pipe and accessories); • Discussion of the condition of network such as frequency of bursts of raising mains, and growth of micro-

organisms in the distribution system such as iron bacteria, corrosion, etc.; • Description of the number and location of household connections, as well as public fountain present in

the distribution system, and how they are operated;• Description of the location where pipe laid and valves are sited like points where pipe crosses the flood

drainage ditches, sewer lines, ponds, etc.• Checking for back flow of contaminated water from consumer’s premises during period of supply inter-

ruption (back siphonage) • Checking for illegal connections, etc.; • Identification of areas where frequent leakage, breakage and supply interruption occur (information/data

can be obtained from operation and maintenance workers) In summary, distribution system description and analysis primarily relies on review of the secondary data (system design) and information from operation workers to update the network system map and identify possible/probable areas of problem and associated risks.

Collection and household storage (point of consumption): as a rule of thumb, utilities take responsibility to ensure water safety until water meter and/or the public stand post (public fountain). After the water meter/public fountain, responsibility to maintain safety of the water falls under the jurisdiction of the household (customer/user). However, there exists potential hazards and contamination risks either from water collection and storage container and/or the water handler her/him self during transportation and storage in the household. Information on hygiene and sanitation behavioral risk factors (hazard events) during water fetching, transportation and household safe water storage practices; hand washing and defecation practices are collected using observation checklists, which is complementary to sanitary survey of water supply systems. Therefore, • Describe type, size, age and condition of pipes, type, size, age and condition of the storage/service reser-

voirs, and any informal connections before the water meter, and water uses;• Describe type, size, age and condition of storage reservoirs at the household level; • Describe type, size and observed sanitary condition of the water collection containers (jerry cans, pot,

bucket, etc); • Discuss household sanitation and hygiene practices of the water handlers, and household water storage

practices (use of narrow neck, covered, placed off floor, container cleanliness); • Explain household water treatment practices and reasons for treating;

CLIMATE RESILIENT-WATER SAFETY PLAN IMPLEMENTATION GUIDELINES FOR URBAN UTILITY MANAGED PIPED DRINKING WATER SUPPLIES

26

• State test and analysis quality of water at household level and determine level of hazards, hazardous events and associated risks in the household.

• Check for illegal connections and vending practices; and,• Check if consumers are using alternative water sources.Additional information during system description and analysis: • Describe the number of population using that particular water supply, their intended uses, and so-

cio-economic status of the communities, as well as anticipated population growth;• Describe service level, and how service addresses needs of disadvantaged groups of population;• Describe equity distribution of water for intended uses and the vulnerability deferential between com-

munities; • Describe the community hygiene and sanitation condition (excreta, waste water and solid waste dispos-

al); • Summarize available information on source and drinking water quality, including sampling frequency,

analyzed parameters, trends and seasonal patterns; • Describe operation, maintenance and system management capacity of the utility; and,• Furthermore, collect retrospective climate change related weather data needs as part of the system

description.

Step 3: Hazard assessment, validation of existing control measures and risk assessment

This section provides guidance on how to identify potential hazardous events and how hazards enter into the water supply system. Objectives of hazard assessment, validation of existing control measures and risk assessment include:• To identify specific and potential hazards or dangers (microbial and physic-chemical contaminants and

quantity) that might threaten the safety and quantity of drinking water supply; • To pinpoint how and where hazard enters into the stages of the supply system (hazardous events or

causes of hazards); • To identify the effectiveness of existing control measures, and determine whether additional control

measures are needed or not;• To find out future areas of improvements and changes to be made to minimize occurrence of hazard

events and likelihood of occurrence of hazards so as to safeguard health of the consumers.

3.1 Identify hazardous events and hazards to water supply system

The system description and analysis provided information on different stages of the water supply system from catchment/source to the point of consumption and potential sources of hazardous events and hazard entry points. Based on information from system description, WSP team identifies the potential hazards, hazardous events, areas where hazard enters into the water supply system (from catchment to the point of consumption) to be assessed in detail during field risk assessment of the effectiveness of the existing control measures.

• Hazards are harmful microorganisms (bacteria, parasite, protozoa, and/or virus), or chemicals (fluoride, arsenic, lead, etc) or physical (turbidity etc) and/or lack of water that might affect health of the consumer or affect the water supply system.

• Hazardous events are unfavorable condition, through which hazards enter in to any stages of the water supply system such as heavy rainfall causing runoff entering the water source or treatment units with animal/human faces. For example, collecting and storing water with dirty jerry can and unclean hand (hazardous event) introduces pathogenic microorganisms (hazards).

27

During hazards assessment, WSP team should consider hazards and hazardous events in pairs and assess risks for each pair. The following table (Table 3) illustrates hazards and how (hazardous events) and where it enters at any of the steps in the water supply system.

Table 3: Examples of hazards, hazardous events and entry points in the water supply system

Steps in the water supply system

Hazardous event (how hazard could enter into the water supply)

Hazards type (microbial, chemical and/or physical)

Source Open defecation, agriculture and garbage disposal in the catchment of the water source and runoff collect human faeces and enters the source

Microbial and chemical contamination

Treatment unit Heavy rainfall and the runoff collect silt and enter the treatment work

Turbidity

Household (point of consumption)

Collect and store water using dirty and wide necked container

Microbial contamination

Step 4: Determine effectiveness of the existing control measures

Following identification of the hazards and hazardous events, WSP team should look into what control measures have been put in place by the utility to remove /prevent /reduce or eliminate the impacts of the hazards and hazardous events on each step of the water supply systems and to safeguard health of the consumers. Once existing control measures are identified, the WSP team continues to review and validate the appropriateness and effectiveness of the existing control measures based on the following measurements and assess potential risks. • Preventing contaminants from entering the water supply system• Removing or reducing the contaminants from the water• Inactivating /killing the hazards (pathogens) • Preventing recontamination of water during distribution, storage and handling• Preventing shortage of water quantitySome risks may be addressed by existing control measures either during intake (e.g. catchment protection), treatment (e.g. reduction of turbidity and killing/inactivation of pathogens by disinfection), at storage reservoir or on the distribution system. Reviews of effectiveness of existing control measure provide information on the strengths and weakness/gaps of the control measures, as well as risks yet not addressed.

4.1 Assessment of risks to the water supply system

After analysis of the effectiveness of the existing control measures, WSP team should conduct a risk assessment to the whole water supply system from catchment to the point of consumption. During this assessment, the team considers all of the hazardous events and a hazard identified, considers the strength and weakness (effectiveness) of the existing control measures, and then conducts risk analysis and determines risk levels.

Risk assessment uses data collected from the water supply system observation (sanitary surveys to the water supply system from catchment to point of use and water quality test results) and data of the utility and the health offices to determine risk levels, for each hazard and hazardous event in all components of the water supply system. The approaches involve estimation of likelihood/frequency of a certain event to happen and severity/consequences of the event on the quality and quantity of water, on the water supply infrastructures and/or on the health of the water users. It should be noted that the frequency of the occurrence of some hazardous events (e.g. heavy rain falls) may be influenced by climate change, and the team is, therefore, encouraged to consider anticipated developments in their assessment if information is available. The scoring of risks requires assigning numbers to different levels of likelihood and levels of severity. Description of the likelihood of the risk and its consequences (severity) and scores assigned to each level are presented below in Table 4 and Table 5.

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Table 4: Definitions for likelihood, consequence level and corresponding risk score

Likelihood level Definition Score

Unlikely Could occur at some time but has not been observed; may occur only in exceptional circumstances

1

Possible Might occur at some time; has been observed occasionally 2

Most likely Will probably occur in most circumstances; has been observed regularly 3

Consequence level Definition Score

No or minor impact Minor or negligible water quality impact (aesthetic impact, not health related) for small percentage of customers. Some manageable disruption to operation, rise to complaints not significant

1

Moderate impact Minor water quality impact (aesthetic impact, not health related) for a large percentage of customers, clear rise in complaints, community annoyance, minor breach of regulatory requirement

2

Major impact Major water quality impact (health-related), illness in community associated with the water supply, large number of complaints, significant level of customers concern, significant breach of regulatory requirement

3

Adapted from Small Community Water Supply WSP Manual (Table 3.4)• Develop a likelihood and consequence/severity matrix (Table 5)• Then, calculate a risk score by multiplying likelihood scores with corresponding severity scores.

RISK = LIKELIHOOD * SEVERITY• Determine risk level based on the risk score as LOW (score 1 to 2), MEDIUM (3 to 4), HIGH (6 to 9)

Table 5: Suggested semi-quantitative risk rating approach (WSP Manual for SCWS 2012)

Consequences

No Or minor Impact

Moderate Impact Major Impact

1 2 3

Like

li ho

od

Unlikely 1 1 2 3

Possible 2 2 4 6

Most likely 3 3 6 9

Risk Score (1,2) (3,4) (6,9)

Risk Level Low Medium High

Adopted Tables SCWS WSP Manual (Table’ s 3.5 and 3.6)

Low Clearly Not aPriority

Medium Midium to Long Term Priority and needs attention

High Clearlya priority and Requires Urgent attention

For example, if the reviews on the ongoing (existing) control measures have indicated that it is inadequate to eliminate/remove the identified risks, the WSP team moves to identification of additional control measures that strengthen (complement) the ongoing control efforts so as to achieve the microbiological and physicochemical water quality targets.

For management purpose, it is important to show the linkage between steps in the water supply system, hazard event (causes), hazards, existing control measures and its effectiveness, risk analysis, and proposed additional control measures/improvement plan on the same analysis template (Table 6) and the additional control measures and/or improvement plan is further discussed under section 3.2.3 below.

29

Tabl

e 6:

Des

crip

tion

of h

azar

d an

alys

is, v

alid

atio

n of

the

exis

ting

cont

rol m

easu

res,

ris

k as

sess

men

t and

det

erm

inat

ion

of a

dditi

onal

con

trol

mea

sure

s

Ste

ps

of

the

wat

er

sup

ply

sys

tem

(fro

m c

atch

men

t to

cons

umer

)

Haz

ard

ous

even

ts (h

ow

haza

rds

coul

d

be

intr

od

uced

)

Typ

e o

f

haza

rds

(mic

rob

ial,

chem

ical

and

phy

sica

l)

Exi

stin

g

cont

rol

mea

sure

s

(mea

sure

s

in p

lace

to

add

ress

haza

rds)

Are

co

ntro

l mea

sure

s

effe

ctiv

e?Va

lidat

ion

note

s (b

asis

to c

ont

rol

mea

sure

effe

ctiv

enes

s

dec

isio

n)

Ris

k as

sess

men

t

Ad

dit

iona

l co

ntro

l mea

sure

s

need

ed?

yes

No

So

me

wha

tLi

kelih

oo

dC

ons

eque

nce

Ris

k

sco

re

Ris

k

leve

lYe

sN

o

If y

es, p

rop

ose

d

add

itio

nal c

ont

rol

mea

sure

s o

r

imp

rove

men

t p

lan

So

urce

/ ca

tchm

ent

Trea

tmen

t w

ork

s/

pla

nt

Sto

rag

e re

serv

oir

s

Dis

trib

utio

n

syst

ems/

netw

ork

s

Pub

lic s

tand

po

st

Ho

useh

old

Dur

ing

risk

fact

ors a

sses

smen

t to

wat

er su

pply

syst

ems,

WSP

team

can

ada

pt a

nd u

se W

HO

sani

tary

surv

ey to

ols (

Anne

x 4.

3) sp

ecifi

c to

con

vent

iona

l wat

er

supp

ly s

yste

m b

y co

ntex

tual

izin

g to

the

sett

ings

of t

he w

ater

sup

ply

syst

em a

nd c

an u

se h

ouse

hold

leve

l con

tam

inat

ion

risk

asse

ssm

ent t

ool.

Base

d on

th

e fin

ding

s of t

he ri

sk fa

ctor

s ass

essm

ent,

the

team

will

ass

ess t

he le

vel o

f risk

usin

g se

mi-q

uant

itativ

e ris

k ra

ting

appr

oach

(Ta

ble

5).

CLIMATE RESILIENT-WATER SAFETY PLAN IMPLEMENTATION GUIDELINES FOR URBAN UTILITY MANAGED PIPED DRINKING WATER SUPPLIES

30

Box 1: Important reminders for WSP team

WSP team is expected to use both secondary and primary data to conduct hazard identification, validation of control measures and risk assessment. • Secondary data sources include records and reports of the utility, recent study reports, etc)

and primary data is gathered during field assessment of risks to the water supply system from catchment to point of use.

• The WSP team uses sanitary survey tools adapted from the survey tools prepared by the World Health Organization (WHO) for different water supply systems and existing tool for assessment of household drinking water contamination risk assessment

Depending on the availability of resources (number of staff to be engaged, budget), the WSP team determines the number of priority problem points to be visited by setting selection criteria, for example; • Problem points in the water supply system located nearby areas of open defecation and

flood prone areas, • Points in the water supply system with history of frequent breakage and supply interruption

and compromised quality, • Age of pipe system, and suspects of wrong connection, etc. To use resources efficiently, the WSP team should prepare detailed activity plan that includes where to visit (points to be assessed), assign activities to each team member as well as assemble assessment tools, checklists, formats, equipments required for sanitary survey and water quality testing ahead of time

Step 5: Improvement planning

In the previous section (section 3.2.2), the WSP team has identified hazardous events, hazards, and prioritized based on risk levels. Moreover, it has evaluated whether the existing control measures are effective to remove hazards from entering the water systems and whether additional control measures /improvement plan is needed or not.

Using information mentioned above, the WSP team can develop detailed action plan that address priority risks identified at all steps in the water supply systems. These planned actions could be either new /additional to existing control measures and/or strengthening the existing control actions.

Improvement plan needs core and detailed activities under each core activities/actions to be implemented. In addition, there should be responsible body/person to execute core/each detailed activity and when it is expected to be accomplished and resources required for implementation of the improvement plan (Table 7).

Therefore, it is important to put improvement actions and addressed in an order of urgency based on the risk level, costs of implementation, and time required to accomplish the improvement plans. Thus, it is important to consider alternative and complementary control/improvement actions (multiple barrier approach) that are effective and affordable, as well as intermediate solutions until more capital expenditure becomes available.

In addition, the whole processes of WSP development, improvement plan of actions and its implementation status should be documented and shared with the utility manager and with other stakeholders and is

31

impo

rtan

t to

use

the

plan

for i

nter

nal a

nd e

xter

nal r

evie

w o

f the

succ

essf

ul im

plem

enta

tion

of im

prov

emen

t act

ions

and

its e

ffect

on

rem

oval

of h

azar

d ev

ents

and

its c

ontr

ibut

ion

to e

nsur

e th

e in

tend

ed w

ater

qua

lity

targ

ets.

In c

ondi

tions

whe

re t

he c

ontr

ol m

easu

res

are

diffi

cult

to im

plem

ent

with

in s

hort

per

iod

of t

ime

due

to la

ck o

f fina

ncin

g, u

nava

ilabi

lity

of e

ffect

ive

tech

nolo

gies

, etc

(lik

e m

inim

izin

g th

e co

ncen

trat

ion

of fl

uorid

e in

the

drin

king

wat

er in

rift

valle

y ar

eas

of E

thio

pia)

, the

util

ity c

an p

lan

for s

usta

inab

le

miti

gatio

n st

rate

gies

such

as s

afe

sour

cing

, and

/or u

se o

f defl

uorid

atio

n te

chno

logi

es.

Tabl

e 7:

Wat

er s

uppl

y sy

stem

impr

ovem

ent p

lan

of a

ctio

n (S

ampl

e)

No

.H

azar

ds

Haz

ard

eve

nts

(cau

ses)

Ris

k Le

vel

Des

crip

tio

n o

f im

pro

vem

ent

acti

ons

Res

po

nsib

le

bo

dy/

per

son

Res

our

ces

(est

imat

ed

bud

get

)Im

ple

men

tati

on

Due

dat

e Im

ple

men

tati

on

stat

us

1Th

e w

ell d

oes n

ot

prov

ide

adeq

uate

qu

antit

y of

wat

er

and

long

que

uing

at

pub

lic fo

unta

ins

Wat

er ta

ble

low

ered

due

to

pro

long

ed d

roug

ht

(like

lihoo

d of

eve

nt

occu

rrenc

e m

ay in

crea

se

due

to c

onse

quen

ces o

f cl

imat

e ch

ange

)

high

Find

alte

rnat

ive

/co

mpl

emen

tary

wat

er so

urce

Util

ity m

anag

emen

t1.

5 M

illio

n Bi

rr6

mon

ths

2M

icro

biol

ogic

al

cont

amin

atio

n of

dr

inki

ng w

ater

Hou

seho

ld st

ore

wat

er

in d

irty,

wid

e-ne

cked

co

ntai

ner a

llow

s fo

r mic

robi

olog

ical

co

ntam

inat

ion

to b

e in

trod

uced

Hig

h Co

mm

unity

/HH

edu

catio

n an

d aw

aren

ess c

reat

ion

on

safe

wat

er st

orag

e pr

actic

es

HH

wat

er d

isinf

ectio

n

Stor

age

cont

aine

r cle

an-u

p ca

mpa

ign

Hea

lth E

xten

sion

Wor

kers

and

le

ader

s of H

ealth

D

evel

opm

ent A

rmy

1,0

00 B

irrO

ne m

onth

3N

o fre

e ch

lorin

e re

sidua

l at o

utle

t of

the

stor

age

rese

rvoi

r

Adeq

uate

qua

ntity

of

chlo

rine

is no

t add

ed b

y th

e op

erat

or d

ue to

lack

of

kno

wle

dge

and

lack

of

gui

delin

es le

adin

g to

po

tent

ial m

icro

biol

ogic

al

cont

amin

atio

n

Med

ium

Tr

ain

to th

e op

erat

or

Prov

ide

stan

dard

ope

ratio

n pr

oced

ure

Mon

itor c

ompl

ianc

e

Ope

ratio

n an

d m

aint

enan

ce c

ore

proc

ess

5,00

0 Bi

rrTw

o w

eeks

4

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Stage III: Monitoring

Monitoring is an essential component of the WSP to verify whether or not the control measures are adequate and effective to check the safety of the drinking water so as to meet the health based targets. Therefore, the objective of developing monitoring is mainly to regularly assess the effectiveness of the planned control measures, and timely implementation of the improvement plans to ensure consistent supply of safe drinking water.

Monitoring of the water safety plan has two components; namely, operational monitoring and verification (compliance) monitoring. While operational monitoring is conducted by the WSP team (the utility), verification monitoring is conducted by the local health authority/regulatory body.

Step 6: Operational Monitoring

The objective of operational monitoring is to frequently assess the effectiveness of all existing and planned control measures and define corrective actions for situations when target conditions are not met to ensure consistent supply of safe drinking water in adequate quantities.

Thus, under this section, guidance is given on establishing plans and procedures to measure effectiveness of the control measures, i.e. whether it is performing as intended (i.e. meeting critical limits or target conditions) as determined through water quality testing and/or visual observations.

WSP team is expected to define and document what, how, when to monitor the corrective actions and frequency of routine monitoring and who conducts the monitoring activities, and what should be done if monitoring parameters are outside the set boundaries (corrective action) and use of the monitoring for continuous improvement of the water supply system.

What to monitor: monitoring is important to check; • Operational water parameters (e.g. odor, pH, conductivity, turbidity, residual chlorine)• Treatment works, disinfection equipments, reservoirs, distribution systems and household storage prac-

tices are in proper running conditions • That the control measures are working effectively • That standard operating procedures are followedHow to monitor: methods of monitoring could be:• Water quality tests to check the quality of drinking water comply with National Compulsory Standard

Drinking Water Specification (CESDWS 2013)• Conduct sanitary inspection to check for improvements made on the water supply system in comparison

to conditions before the planWhen to Monitor: Frequency of monitoring could be set on daily, weekly, monthly, quarterly, or on an annual basis depending on how quickly the control measure may fail, the urgency to remove hazard events and to meet set standards. For example, monitoring of the disinfection unit in the treatment processes need strict monitoring of the critical limits set for pH and Temperature of the water and the correct dose of chlorine and concentration of free residual chlorine before the water enters the distribution system. On the other hand, other units in the water supply system such as water source catchment and service/ supply storage reservoirs may need less frequent monitoring visits.

Deviation from the critical limits (or target conditions) usually requires urgent corrective action to block supply of unsafe water to the community and to restore the proper functioning of the control measure.

In general, monitoring requires identification of what to be monitored, operational targets, critical limits and decision how and frequency of monitoring, specification of the monitoring procedure, an organization/person responsible for monitoring and prepare contingency actions when critical limits have been reached or surpassed.

33

Box 2: Critical limits (or target conditions)

is a measure of control which measures performances that can be objectively assessed by standard techniques (lab test) and by direct observation• It is a level which indicates water quality/safety has been compromised and a level at which

corrective action should be taken to remove the risk. For example, the utility can set critical limits such as; • The filtration unit should have a critical limit /performance to reduce bacteria load and tur-

bidity to less than 5 NTU before passing water to chlorination unit, • Concentration of free residual chlorine at public stand point/consumer tap should not be

less than 0.2mg/L, • No faecal coliform bacteria in the water at household level • Range of pH limits for effective chlorination• Access port on storage tank closed and locked• Area around the water source free of polluting sources (e.g. latrine or garbage disposal)

In the above section, the importance of setting the critical limits for each control measure is discussed. It is also important to regularly confirm whether the stated control measures are implemented and the critical limits are not exceeded and the control measures are capable of removing/reducing the identified hazards to the level it will have no more public health importance.

In summary, operational monitoring is important to check and confirm that, the planned control measures are working properly and effectively remove identified hazards (physical, bacteria or chemical) and risks from the water supply system. These can be done by;• Regular checks and observations including sanitary inspection to the critical control points in the water

supply systems, • Laboratory testing for indicator of micro-organisms and suspects of chemical hazards and analysis of the

critical parameters to check against critical limits. • Analysis of reasons (shortcoming and challenges) for control measures are not implemented as planned

or not effective and identification of future corrective actions. The following table describes what to be done, frequency and responsible body being parts of and operational monitoring (Table 8).

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Table 8: Suggestion for frequency of operational monitoring of the water supply systems, critical limits and possible corrective action if critical limits are surpassed

Where What When Who Critical limits

How (methods of monitoring)

Corrective actions if critical limit surpassed

Source (intake chamber)

Turbidity Seasonally Technician Less than 1000 NTU

Conduct Visual observation and Water quality test

Divert flood water immediately and suspend raw water harvesting until turbidity drops below critical limit

Fencing around intake

Weekly to monthly

Technician Intact and gate secured

Conduct Visual observation /inspection

Repair compromised fencing and/or secure gate

Clear water tank (outlet)

PH Daily Technician pH: 6.5-8.5 Conduct Water quality test

Investigate change in pH

Turbidity Daily Technician <5 NTU Conduct visual observation and water quality test

Confirm water treatment plant performance and check for leaks and breaks in pipe line

Chlorine Daily Technician Cl2: 0.6-0.8mg/L

Conduct Water quality test

Check and adjust chlorine dose as needed

Distribution network (valve boxes, exposed pipe lines, ditch/ run off crossing etc)

Leakage and vandalism

biannual Technician Fault connection, breakage and exposure to run off and damage

System observation / inspection

Maintenance/ rehabilitation of the distribution network

Consumer tap (5 taps each time)

pH Weekly Technician pH: 6.5-8.5 Conduct Water quality test

Investigate change in pH

Turbidity Weekly Technician <5 NTU Conduct Visual observation and Water quality test

Confirm water treatment plant performance and check for leaks and breaks in pipe line

Chlorine Weekly Technician Cl2: 0.2-0.5mg/L

Conduct Water quality test

Check and adjust chlorine dose as needed

Source: Adapted from WHO water safety plan manual (WHO 2009)

35

Step 7: Verification Monitoring

Compliance Monitoring

Veri�cation

Consumer Satisfaction Auditing

Fig 3: Verification Monitoring, adopted from WHO WSPs training manual 2012

Verification monitoring confirms that water quality targets or objectives are being achieved and maintained and that the system as a whole is operating safely and the WSP is functioning effectively. It is typically based on compliance monitoring, internal and external auditing of the adequacy of the WSP and adherence to operational activities, and checking consumer satisfaction. In auditing, sanitary inspection formats are often a useful tool for confirming that measures put in place effectively control previously identified risks. The results of verification monitoring are typically included in district, regional or national water supply surveillance program.

For realization of verification monitoring, establish a reliable system for information exchange with relevant stakeholders. Verification includes: • Compliance monitoring: use water quality parameters through water quality testing to confirm that

water quality standards are being met. The quality of the water supplied to the users should comply with National Compulsory Standard Drinking Water Specification (CESDWS 2013). This can be done by FMHACA and its structure at regional, zonal and woreda levels. Compliance monitoring requires moni-toring plan that include; selection of location where to collect samples, determination of frequency of sampling/testing, documentation/recording and reporting of water quality test results. Water Quality Surveillance will be employed for compliance monitoring. It is not only limited to water quality testing but also include regular monitoring of incidence /prevalence of water-borne diseases and analyze trends. The water quality test being made will include:

• Microbial quality (indicator bacteria E. coli or thermo-tolerant coliforms, viruses or protozoan of faecal origin, etc at representative control points in the water supply system).

• Physic-chemical quality such as free residual chlorine, pH, turbidity and Nitrate are regularly moni-tored. Other toxic chemicals such as fluoride, arsenic, etc., are tested at the beginning of the devel-opment of the water supply and monitored with less frequent interval to check effectiveness of the chemical removal technologies. .

• WSP auditing: will be carried out by audit committee lead by health authority at the local level with members from regulator, health and water offices. The committee use document from the water supply

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36

system, visual observation using sanitary survey and water quality test results to determine the effective-ness of the WSPs

• Verification process also encompasses assessment of communities’ (water users’) satisfaction with the quality/safety, quantity/adequacy, reliability, continuity, and cost of the drinking water through regular water users’ satisfaction surveys. It is to be noted that, water users may divert to alternative unsafe water sources if their voice is not heard.

Stage IV: Management and Communication

Step 8: Development of the management procedures

Water safety plan includes establishment of clear management procedures to document actions taken when the water supply system is operating under normal condition, including action to take when limits exceed (corrective action) and the system is operating in emergency conditions with the detail steps to follow in incident situations. SOPs are important to create transparency between the operational and the management on the status of the system and to actively engage in the water supply system improvement.

The standard operation procedures (SOPs) are operational procedures (system operational manual) used during normal conditions including on how to implement system upgrading and/or improvement corrective actions. Emergency procedures manage emergency operational conditions during emergency situation such as flood and drought and it includes lists of activities to be conducted by utility staff, responsibilities of the utilities and other stakeholders during emergency situation.

For example, incident situation such as flood and/or drought may occur and create loss of control of the system, and could result in damage of the assets, closure of the treatment works, and/or gross contamination. For example, unanticipated the flood incident in Dire Dawa (2006) and Afar region, Asayita (2010) has resulted in gross damage to the water supply system (NAPA 2007). Therefore, assessment of situations based on meteorological data or information on history of occurrence and impacts of events such as drought and/or floods over the past decades are important to prepare emergency preparedness and response plan.

The following are examples standard operation procedures (operators working manuals) important for utility managed water supply systems.

Operational Procedures under normal conditions • Prepare/update operational manual that is used at the stage of raw water intake and pre-treatment,

screening of raw water intake, calibration of meter to measure water flow, and switching and increasing/decreasing pump operation.

• Prepare/update procedure for Dosing of Coagulation/flocculation chemicals and disinfection/chlorina-tion

• Prepare/update procedure for record keeping and reporting (list of reportable key parameters, failure reporting forms, users’ claim form, etc)

• Prepare/update water sampling and testing procedure, • Prepare/update manual/procedure on certification of competence (COC) for water supply system opera-

tors, and water quality analysts • Develop system of communication between utility and health sector/regulator particularly on sharing of

lab test/analysis and sanitary survey resultsManagement procedures to deal with incidents• In addition to climate and weather information collected from the metrological agency, organize com-

munity consultation workshop and identify trends of climatic changes that occurred during the past years/decades based on the histories and experiences of the elders and/or based on meteorological data, make prediction for possible changes in the water system and establish baseline for future monitoring

• Prepare/update contact information of key personnel including operators and managers and other stake-holders to be informed in case of an emergency

37

• Prepare/update clear description of actions required in the events of emergencies• Prepare/update location of backup equipments Depending on the type and complexity of emergency situation, develop/update the response ac-tion which could vary from;• Modification of treatment of existing sources, or temporary use of alternative sources with appropriate

water treatment, or water tracking during worst water scarcity. • In case of gross contamination due to flooding and damage to different parts of the water supply sys-

tems • Increase disinfection points including at treatment tank, distribution lines, and at household levels. • Properly document these emergency response actions in the emergency management procedures. In addition, address the following issues in the emergency communication procedure; • Prepare response and monitoring actions, • Identify responsibilities of internal and external stakeholders, • Develop/update communication strategies (rules for internal information sharing/exchange mechanism,

with the regulatory and with media and the public), • Develop/update user manual for distribution of emergency supplies, surveillance procedures, etc

Step 9: Development of the WSP supporting programs

Development and availing of the standard operational procedures (user manuals) for implementation of WSP under normal condition and during incident condition is not sufficient by itself. Thus, there should be activities that support the utility staff and managers develop necessary knowledge, skills, and commitment to develop and implement water safety plan approach, and capacity to manage water supply systems to deliver safe water. Therefore, need based designing and implementation of the WSP support programs including in-service trainings, research and developments are important.

Therefore, start supporting programs from simple actions, which may include for example;• Organize sensitization workshop for key stakeholders on the existing regulations/standards and their

legal responsibilities, • Organize in-service training for laboratory professionals/analysts on quality control/calibration of testing

equipments, and for system operators on calibration of monitoring devices/equipments and on the preventive maintenance.

• Review of existing operators’ training curriculum, and develop standard operators training program and manuals and train new operators (pre-service and in-service training programs) by employing cascaded training approaches (master ToT at national and regional level, then sub-regional, then training of utility operators and managers)

• Organize in-service/refresher training for system operators and managers of the utility on the standard operation procedures and emergency response plans.

• Strengthen hygiene and sanitation promotion interventions to reduce contamination risk at source, in the distribution systems and at household level.

• Identify potential areas of water sources and the supply systems that are likely to be affected or damaged by possible disasters (flood) and prepare necessary protective/preventive measures including training of operators, and sensitization of communities.

• Strengthen soil and water conservation (watershed management) interventions conducted by agri-cultural sectors and by the communities to improve water storage/recharge through development of recharge ponds and contour trenches

• Establishment of the water quality monitoring/surveillance laboratories following WSP implementation scale up program in the regions, zones and woredas.

• Furthermore, identify researchable issues to generate evidences for informed decision making including:

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• Testing/adoption of the best practices, • Changes in the concentration of chemical hazards due to climate change to be supported by Na-

tional Technical Working Group • Changes in level of operator’s turnover/job satisfaction and training needs, • Level of customer/water users’ satisfaction, • Changes in the service down-time rates and water wastage rate by service zone, • Changes in the pattern of WASH borne diseases (under-five diarrhea), • Changes in water sources resilience to climate change (increase in ground water recharge and

reduced impacts of extreme weather events on the water supply)• Assessment of the customers’ willingness to pay to increase billing rate to improve cost recovery for

operation and maintenance, etc., as well as population development

Stage V: Feedback and Improvement

Step 10: Review and Revise the WSP regularly and following an incident

10.1 Reviews of the WSP

The main purpose of the WSP Reviews is to ensure that the WSP is up-to-date and effective, and ensures that it reflects lessons learned from incidents and near-miss. Reviews could be planned that needs regular meetings of the WSP team to look into all aspects of WSP to ensure that WSP is accurate and effective in reducing/removing hazards (hazard events). WSP review also conducted as needed following any significant change and after an incident or near miss.

Therefore, WSP review should be conducted regularly by taking into consideration the following conditions.• Every three months (quarterly) to assess progresses made on implementation of quick wins and solve

ambiguity/confusions related to WSP implementation• Every year to identify successes, challenges and learn from experiences and update the WSP

• Biennial to review the whole processes of WSP implementation, outputs, and its effectiveness from the view points of ensuring water safety and meeting health based targets. The following measure-ments can be used to review operational effectiveness of the WSP;

• Improvement in water quality and quantity and compliance levels of operational monitoring limits• Improvement in operation, maintenance and management capacity of the utility• Additional or improved control measures in place• Improvement on customers’ satisfaction and confidence on the utility’s services• Improvements in household safe water management practices• Reduction in prevalence/incidence of diseases attributable to unsafe water• Improvements in continuity of the water supply (Reduction in down time/incidents of supply inter-

ruption)• Improvements in the commitment of operators and job satisfaction • Completeness of WSP e.g. with respect to new hazards and/or hazardous events identified in the

meantime

10.2 Revision of the Water Safety Plan

WSP revision serves as a basis for upgrading/improvement of the WSP including identification of new risks to existing water supply system and/or new water supply water sources connected to the existing system and designing of associated control measures and corrective actions, monitoring systems and changes to the existing system.

These might include: further risk assessment, revision of operating procedures, and/or training of operators on the possible causes of incidents and emergencies, etc., that need to be incorporated in the revised Water Safety Plan.

Incidents cause damage to the water supply systems or compromise the quality of water and consequently

39

cause an acute or chronic threat to public health. They may also lead to a shutdown of the facility or parts of it, leading to reduced quantity and related health effects.

It is important to urgently revise WSP implementation following emergency so as to address newly emerging hazards and issues related to adequacy of response actions. In addition, post emergency joint review is important to document best practices; identify gaps to be considered/filled in the future as part of preparedness plan.

Therefore, post emergency WSP implementation revision shall consider the follow issues:• Determine root causes of the emergency problem (e.g. causes of outbreak, and damage to water system)• Check/verify whether all relevant hazards have been identified in the previous hazard analysis, and

whether risk assessment (i.e. likelihood and / or severity) needs updating• Check/verify whether all causes were identified (hazardous events) in the previous risk assessment, and

whether possible occurrence of the problem is recognized in the previous WSP• Check /verify whether proper control actions are adequately and timely implemented• Check/verify if there was communication gap and solutions sought • Determine the immediate and long-term consequences of the emergency (morbidity, mortality, water

system breakdown, dissatisfaction of water users and loss confidence on the service quality, etc)• Identify future areas of improvement/ additional actions such as risk assessment, training of operators,

communication means, capital investment, improved monitoring, regulation etc to be incorporated in to revised WSP and future emergency plan

• Accordingly revise/update the WSP emergency response during emergency conditions. • Develop early warning system, communication strategy and preparedness plan on how to supply safe

water to the community during emergency In summary, WSP revision shall be considered when either of or all of the following conditions happen to the water supply system and to the WSP team:• When new activities are initiated in the catchment (e.g. agricultural activities)• When new treatment infrastructure is constructed /introduced• When changes are made with existing water quality standards• When updates to improvement plan is required• When revisions have been made to management procedures• When change has been made to WSP team members

4CHAPTER

ANNEXES

41

4.1. Institutional Arrangement for WSP implementation

The water sector plays a leading role and is responsible for the climate resilient water safety plans implementation both in the urban water utilities and rural community managed water supplies. However, management and administration of land around the water source catchments, and development activities in the catchment zones, and removal of the hazards/contamination risks from source to point of use are not under the sole management of the water sector.

Therefore, implementation of the WSPs needs multi-sectoral coordination at all administrative levels, and technical and management inputs of professionals from catchment authorities/agriculture, water resource, utility, health, education, regulatory bodies and of the development partner organizations. Thus, the existing WASH coordination mechanisms expected to play significant role in the scale up of the water safety plan implementation being an integral part of one WASH national program.

However, development and implementation of the WSPs by the urban utilities and rural community managed water supplies need strong technical support by the technical working group (TWG) at all levels.

4.1.1 Organization of the WSP implementation

National WSP Technical Working Group (N-WSP-TWG)

Country wide WSP implementation is technically supported by the National WSP technical working group (N-WSP-TWG) composed of senior professionals from water, health, environment/meteorology, hydrology/climatology, agriculture, with expertise in designing of the water supply systems, water treatment works operation and maintenance, water quality monitoring/analysis, natural resource/watershed management, environmental health, vulnerability and adaptation assessment in relation to climate change, and regulation of the standards. In addition, the national TWG encompasses donors, UN agencies and international NGOs working on WASH and promotion environmental protection.• Development/updating of the WSP implementation guidelines and training materials• Development/customization of general standard operating procedures/manuals specific for utilities

managed urban water supplies, • Organize, coordinate and facilitate capacity building training for the regions/major utilities, universities/

TVETS, and for regulatory bodies • Identify issues to be researched, and technical guidance through regular supportive supervisions and

report feedback, and review meetings to regional TWG on WSP monitoring • Mobilize resources and coordinate WSP implementation scale-up nation- wide • Collect WSP implementation reports from the regions and federal town urban utilities; make review of

the effectiveness and impacts of WSP implementation at national level.• Coordinate national drinking water supply system vulnerability and adaptation assessment or support

the regions on conduction of regional vulnerability and adaptation assessment • Coordinate the establishment of systems for compliance monitoring at national, regional and woreda

levels • Facilitate planning and implementation of compliance monitoring to federal town utilities managed

water supplies and, facilitate dissemination of results of the monitoring to National stakeholders• Support the regions by timely provision of national forecast on extreme weather events (e.g. droughts or

floods)Regional WSP Technical Working Group (R-WSP-TWG)

Country wide WSP implementation is supported by the regional WSP technical working group (R-WSP-TWG). Professional mix of the regional technical working group is the same with national working group. However, representation of the partner organizations participating may differ from region to region. Functions of the regional technical working group are described as follows:

• Sensitize regional stakeholders on concepts and benefits of WSP and its appropriateness to address risks

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posed by climate change• Provide technical support to the regional and sub-regional big town/urban utility on the formation of

WSP team, capacity building training, and during WSP development and implementation • Show cases and mobilize local resources for WSP implementation• Strengthen water quality analysis capacity of the urban utilities and quality monitoring/surveillance ca-

pacity of regional and sub-regional public health laboratories, woreda health offices • Provide technical support to woredas on formation of woreda TWG and woreda WSP teams, train the

WTWG and WSP team, and train small town urban utilities on stand operating procedures/manuals • Provide research support to the big, medium and small town utilities• Collect WSP implementation reports from the medium and small town utilities and make review of the

effectiveness and impacts of WSP implementation at national level• Organize annual WSP implementation reviews, document best practices, lessons and share with other

regions• Facilitate establishment networks between urban utility operators• Facilitate planning and implementation of compliance monitoring to regional/zonal town utilities man-

aged water supplies and, facilitate dissemination of results of the monitoring to regional/zonal stakehold-ers

• Conduction of regional climate change vulnerability and adaptation assessment to drinking water sup-plies

• Facilitation of access to regional forecasts of e.g. droughts and floods.• Perform a hydrology modeling for the regionDepending on the differences in administrative set up between regions, the number of medium town urban utilities and breadth of WSP scale up, regions may organize sub-regional /zonal technical working group and delegate some of their functions

Woreda WSP Technical Working Group (W-WSP-TWG)• Sensitization of the woreda stakeholders on Concepts and benefits of WSP implementation, including its

appropriateness to address risks posed by climate variability and change • Provide technical support to small town utilities on the formation of WSP team, capacity building training,

and support during WSP development and implementation • Show case and lobby the woreda council through WWT to allocate earmarked budget for improvement

of safety of water through implementation of WSP • Strengthen water quality monitoring capacity of the small town utilities and quality surveillance capacity

of woreda health offices • Facilitate planning and implementation of compliance monitoring to small town utilities managed water

supplies and, facilitate dissemination of results of the monitoring to regional/zonal stakeholders• Organize quarterly WSP implementation reviews of small town urban utilities at woreda level, document

best practices, lessons and share with other woredas

43

Urbon Utitity Managed Water Supplies

Techinica Working Group (Supprt)

Wash Sector Stakeholders and WASH Coordintion

Federal Water, Health Environment, Meteoroology Agriculture,

Partener-WCO

Woreda/ Town Water Health Agriclture and Partners-WCO

PHCU< Schools, FTC,Kebele Managers HAD, Social and

Religious Leaders

Zonal/ Town Water,Health Agricure and Prtners

Reginal /Town Water, Health,Agiculture, Environment, Hydrolgy/

Meteorolgy and Partner-WCO

Techinica Working Group (Supprt)

Regional WSP-TWG

Sub_Reginal WSP-TWG

Woreda WSP-TWG

Public Fountain

HH/ Institution Water Meter

Self Supply and Holy Water

City Administration Utiity WSP Team

Reginal Cities /Town Utility WSP Team

Mrdium Town Utility WSP Team

Small Town Utility WSP Team

Households/ Point of Use [Water Storage Containers]

4.1.2 Roles and responsibilities of utility WSP team

WSP team is a multidisciplinary professionals’ team formed by the water utility from utility, health, agriculture/natural resource management and socio-economic studies and planning who have experiences and expertise on watershed management, water supply system design, operation and maintenance, water quality analysis, health and socioeconomic dynamics of the population. Manager of the utility play a coordination role to WSP team.

Responsibilities of the WSP team• Prepare detail activity, milestones and logistics plan for development of Water Safety Plans• Review/analysis of existing documents including system design and layout, records and reports on oper-

ation and maintenance activities• Conduct site visits from source to point of use, observe operational practices, identify potential sources of

hazards, hazard events, and prepare map of the water supply system• Map hazardous events, identify and validate existing control measures, analyze risks (considering likeli-

hood and consequences), and plan improvements needed to reduce risk to acceptable levels• Establish operational monitoring plans for each control measure (including corrective actions) • Conduct field visit periodically to check for proper implementation of operational and observation/in-

spection of implementation of corrective measures from source to point of use• Conduct customers’ satisfaction survey using qualitative and quantitative techniques

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• Provide management support to the utility operators and water quality analysts including facilitation of development/updating of the standard operating procedures (normal and emergency situation), emer-gency response plans and training of operators

• Produce and submit monthly, quarterly and annual performance reports to the next higher TWG and the TWGs send back report feedback with recommendation

• Conduct annual WSP implementation reviews • Conduct quarterly and biennial reviews as well as following incidents to evaluate effectiveness of WSPs

and document practical lessons and share with stakeholders

4.2 WSP team selection criteria

The WSP team should be composed of professionals with adequate knowledge and experience of the water supply system from catchment and point-of-consumption and have an authority to prepare water safety plan and implement identified improvements and changes. In addition, the team should comprise other organizations that have stake in the catchment (watershed) and on the water use and quality. Specification of the responsibilities of the team member is important for labor division and team management. 1. Authority to approve improvements or changes identified in the water supply system (to decide to make

decision about budget, devoting staff time, on training, etc)2. Knowledge and experience of the catchment, issues and concerns that may exist in the watershed3. Knowledge and experience with water supply treatment processes and water supply system operations

(workers responsible for day to day operation of the water supply)4. Knowledge and experience of water supply infrastructure design and layout (know about the history of

the water supply system such as water source recharge to maintain quantity)5. Knowledge and experience of water quality monitoring and surveillance processes6. Knowledge and awareness of local health issues associated/attributable to drinking water supply 7. Understanding of risks associated with various stages of the water supply systems8. Knowledge of trends of the climate change in the area and how it affects the water supply systems9. Donor agencies and NGOs supporting the government on improvement access to safe and adequate

water supplies.

S/ N Name Organization PositionAreas of responsibility in the team

Address (telephone and e-mail)

v

45

4.3 WSP data collection tools

The following tools (4.3.1 and 4.3.2) are parts of the implementation guidelines and the training package.

4.3.1 Sanitary survey format

The urban utility managed water supplies have multiple sources including surface water, motorized deep boreholes, and gravity springs, combined and connected in the same grid and supplied to the population from the same reservoir using through the same pipe system connected to the public fountain and the households. Thus, sanitary survey tool kits that encompass multiple sources, treatment plants, reservoir, distribution networks including household connections and public fountains will be developed/adapted from first eddition drinking water quality guidelines, volume 3, (WHO 1985) as an addendum to this implementation guidelines.

4.3.2 WHO/IWA (2012), WSP quality assurance tool

Spread sheet developed by the WHO/IWA version 1.3 for water safety plan quality assurance is adopted and used to assess the performances of the Water Safety Plans implementation.

4.4– Sample WSP team training program

Training program on development and implementation of water safety plan for members of the urban utility managed water supplies WSP team

Topics and training methodology Time

Day 1 • Introduction to the training workshop

• Brainstorm, explain/discuss the national water and health policies specific to water safety, nation-

al water quality standards and targets, climate change/weather variability and its effect on the

drinking water supplies (Introductory module)

• Team dynamics, Team forming, roles, and leading team work towards performance (Module 1)

1 hr

2 ½ hrs

1 hr

Day 2 Module 2, 3 and 4

Brainstorm, explain and discuss using written documents

7 hrs

Day 3 Module 5, 6 and 7 7 hrs

Day 4 Module 8, 9, and 10 7 hours

Day 5 Module 11 and 12

Orientation to field work and sanitary survey tools

4 hours

4 hours

Day 6 Practical field visit and exercise

• Field visit to selected community managed water supply and conduct system description, iden-

tify hazards and hazard events and existing control measures from catchment to point of use

• Discuss in group: characterize risks and evaluate effectiveness of the control measures

• Explain and discuss on how to develop and implement an incremental improvement plan

8 hrs

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4.5

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quar

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, an

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pe

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man

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view

repo

rts

EPA (2012), Climate Ready Water Utility, www.epa.org

WHO Drinking Water Quality Guidelines, 3rd edition, 2004.

WHO Drinking Water Quality Guidelines, 4rd edition, 2011.

WHO Drinking Water Quality Guidelines, 1st edition, volume 3, 1985.

Introductory E-learning Course on Climate Change, UN TRI 2014.

WHO/IWA, Water Safety Plan Manual, 2009.

WHO, Water Safety Planning Manual for small community water supplies, 2012.

WHO, Water safety plan: a field guide to improving drinking-water safety in small communities, WHO 2011.

WHO/IWA, Water Safety Plans facilitators’ handbook, 2012 (http://www.who.int/about/licensing/copyright_form/en/index.html).

WHO/AusAID, Drinking water safety planning, a practical guidelines for pacific Iceland communities. WHO/SOPAC Joint Contribution Report 193 WHO/IWA, A Road map to support country- level implementation of the water safety plan, 2010

Godfrey, S. and Howard, G., (2004) Water Safety Plans (WSP) for Urban Piped Water Supplies in Developing Countries WEDC, Loughborough University, UK.

REFERENCES